Tag: FINRA

FINRA’s Annual Regulatory and Examination Priorities Letter highlights issues of importance to FINRA's regulatory programs.

The Financial Industry Regulatory Authority (FINRA) backed off its proposal requiring broker/dealers to disclose financial incentives to move to a new firm.  

The Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts.

Compliance consulting firm Lexington Compliance launched a registered investment adviser (RIA) registration service to help clients establish and manage new independent financial services firms.

A recent survey report from the North American Securities Administrators Association (NASAA) finds a wide disparity in how broker/dealers and other financial services providers disclose fee charges.

The Financial Industry Regulatory Authority (FINRA) approved an amendment to its supervision rule that would require registered firms to conduct background checks on all registration applicants.

The Financial Industry Regulatory Authority (FINRA) imposed a $950,000 fine on LPL Financial LLC for supervisory deficiencies related to the sale of various alternative investment products.

The Securities and Exchange Commission (SEC) released the schedule for this year’s Regional Compliance Outreach Program for financial and compliance professionals working with broker/dealer firms.

One of the biggest mysteries haunting the industry is the impact of the revised fiduciary rule on investment product marketing for IRA rollovers.

How participants deal with their 401(k) assets when they leave a company is under more scrutiny from FINRA, but retirement plan advisers are less likely to be affected...

Very few advisers have a succession plan, and it’s possible that regulation is needed to protect their clients and investors, a report says.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with...

Reviewing firm practices for recommending and marketing individual retirement account (IRA) rollover services will be a 2014 priority for the Financial Industry Regulatory Authority (FINRA).

The Financial Industry Regulatory Authority (FINRA) is soliciting comments on a proposal to standardize and automate account activity and security reviews for its members.

An enhanced version of BrokerCheck by the Financial Industry Regulatory Authority (FINRA) gives investors quicker access to investment professionals’ reportable events.

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.

The Financial Industry Regulatory Authority (FINRA)’s board  approved a proposal requiring brokers to disclose compensation paid as an incentive to move to a new firm.